Nex Systems
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JACOBO GOMEZ-GUTIERREZ

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/06/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100229772 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jacobo Gomez-Gutierrez, Respondent International Financial Advisor CRD No. 5343100 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Jacobo Gomez-Gutierrez, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

    Reference 2010022977201data-portal.finra.orgfinra.org

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